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Vol. 36, No. 9 - September 2009
Office of Research Development and Administration
Editor: Joel Fritzler
CONTENTS
F&A ("Indirect") Costs and You: Some FAQs
—by Prudence M. Rice, Associate Vice Chancellor for Research and ORDA Director
It's the beginning of a new school year and so it is probably appropriate to send out another reminder about what F&A costs are, and how these cost returns provide broad support for campus research, scholarly, and artistic endeavors. The Facilities and Administrative (F&A) cost rates charged on outgoing grant proposals are negotiated with the federal government for sponsored projects at SIUC. All universities have negotiated their own individual rate agreement; they are required to do so every three years. Our current rates appear in the table below.
| Research |
45.5% |
26% |
| Training/Instruction |
45.5% |
26% |
| Other Sponsored Activities |
31% |
26% |
What are Facilities and Administrative costs?
Facilities and Administrative costs, long referred to as "indirect costs" (IDC) or "overhead," refer to real expenses, part of the costs of carrying out the University's research mission (see Research Matters, October 2002). They are best understood by comparison to the direct costs of doing research, which are expenditures managed by the principal investigator or project director (PI/PD). These include such things as salaries, equipment, travel, commodities, etc.
F&A costs, on the other hand, relate to the indirect expenses of doing research, such as maintaining and operating the University's facilities and services, including buildings (lab and office space, the library), utilities (electricity, heating and air conditioning, water), administration (purchasing, accounting), and so forth. Hence the term F&A.
How are F&A rates determined?
Since the 1950s, the federal government has acknowledged that "overhead" is a necessary component of university-based research support. As a result, every three years the nation's universities engage in a complex process of negotiating their F&A rates with the federal government. Each university's individual rate has its origins in an audited report of space size and use and annual expenditures that identifies the institution's total costs of operation. University officials calculate the percentage of these expenditures that they believe represents the share of research support that should be borne by the government. This is the basis for each university's proposal to the federal government for its F&A rate.
SIUC's proposals for its F&A rates are submitted to the U.S. Department of Health and Human Services, our "cognizant federal agency" with which we negotiate a rate (see Research Matters, May 2001). These data include building-by-building and room-by-room measurements of space devoted to research, metered evaluations of electricity use for research spaces, and so on.
These F&A rates are then applied to the direct costs of the proposed budget to calculate the total amount requested from the sponsor. In considering the fact that institutions request compensation for their facilities and administrative costs by standard rates, it may be useful to contemplate the alternative: separate lines in every proposal budget for a proportion of electrical and water usage, for square footage of space, for a proportion for the library, for specific secretarial and administrative services, etc.
What happens to the F&A dollars that are added to my proposal budget?
Agencies making grant/contract awards to the University repay the institution all the F&A dollars specified in the successful proposal. These are referred to as F&A or "indirect cost" returns. The timing and rate of repayment to the University is based on the principal investigator's expenditures of the awarded funds.
Each university has its own plan for how it distributes and expends the indirect costs that it receives back from funding agencies. Because of federal regulations and auditing requirements, these expenditures must be carefully monitored. Whereas plans may differ in details from institution to institution, they are all similar in general terms.
SIUC distributes F&A returns according to a 30:70 percent plan developed in 1999, which was approved by the Graduate Council and other constituency groups and implemented in 2001. That is, for every $1,000,000 of F&A returned to SIUC, 30 percent of that total is distributed as $300,000 to the originating colleges/centers; of that sum, at least 10 percent or $100,000 must be returned to the originating department/center. The remaining 70 percent is divided as $390,000 to the OVCR/Graduate Dean and $310,000 to the Office of the Chancellor.
Within each recipient college, department, or center, the distribution or apportionment is according to that unit's agreed-upon plan, often set forth in the unit's operating papers.
So what does all this administrative stuff actually mean to me?
The meaning and significance of this information about F&A varies depending on the kind of research/scholarly/creative activity in which you and your students/department/center/college are involved. In general, the importance can be discussed with regard to external funding and internal funding.
External funding: SIUC is allowed to charge the relevant full, federally negotiated F&A rate (see table above) on most external grants. In general, federal sponsors will pay the full F&A rate back to the University, although there are important exceptions, such as the National Endowment for the Humanities, the Department of Education, and others. State of Illinois agencies generally allow less than the full rate. Private foundations and industry often refuse to allow any indirect costs at all.
ORDA policy is that the full, applicable F&A rate will be charged on all proposals, unless the sponsor states in writing that F&A (IDC) is disallowed or is limited to a lower percentage.
Because federal agencies such as the National Science Foundation (NSF) and the National Institutes of Health (NIH) will generally pay the full negotiated F&A rate, most of the returns coming back to the University come from those (and related) sources. In addition, these grants usually bring in the largest amount of base dollars on which the F&A rate is calculated. These are the biggest sources of the millions of dollars of F&A returns to the University.
Internal funding: The OVCR/ Graduate Dean controls a substantial proportion of the F&A dollars returned to SIUC from external funding sources. F&A cost returns constitute nearly 90% of the funding for SIUC's competitive internal research programs managed through ORDA. These dollars support faculty research, scholarly, and creative activities in several ways.
Perhaps most obvious to the individual investigator are the ORDA Faculty Seed Grants. These are internally peer-reviewed research grants of up to $25,000 awarded through annual competitions. The purpose of this program is primarily to "seed" or initiate the research and scholarly activities of new faculty to make them more competitive for receiving external funding. This is a cross-disciplinary program, and faculty from colleges and departments that do not bring in substantial F&A dollars, especially from federal sources, traditionally do very well in receiving seed grants. Similarly, the OVCR/Graduate Dean and ORDA have initiated an Interdisciplinary Research Seed Grant competition and provide faculty and students with travel money. These awards are funded primarily through recovered IDC returned to SIUC and allocated to the OVCR.
Furthermore, the OVCR uses a proportion of the F&A returns to provide matching funds for those grants, usually to federal sources, that require them. Grants that receive matching funds can range from the sciences and technology to the arts, humanities, education, and so forth. Faculty and staff across campus are eligible to request these funds.
Some ORDA workshops have already been held for the fall 2009 semester. The following are the remaining workshops. Additional workshops may be scheduled as the academic year progresses; if so, they will be announced on our home page and in Research Matters.
Unless otherwise noted, all workshops are scheduled to be held in room C-227 in Woody Hall. For all workshops, we recommend that you reserve a seat. Contact ORDA (453-4540, orda@siu.edu) to reserve a seat.
Faculty Seed Grant Program Workshops
The deadline for proposals to the FY10 Faculty Seed Grant program is Monday, November 9.
Two (identical) workshops about preparing applications for the seed grant program will be offered on Thursday, September 24, from 3:00 to 4:30, and on Friday, September 25, from 10:30 to noon. To reserve a seat at one of these sessions, contact ORDA (453-4540, orda@siu.edu).
The seed grant program is primarily for new faculty establishing their research or creative projects, for established faculty making a significant change of direction in their research, and for faculty with rejected external proposals who wish to strengthen their pilot data.
Grants are made for a period of one year, with a maximum of $20,000 for graduate assistants/student workers, travel, commodities, etc. Faculty also may request one month of summer salary (not all successful applicants receive summer salary).
The emphasis of the program is to increase external funding for research and creative activities at SIUC. It is a requirement of the program that a proposal related to the research be submitted to an external agency within 18 months of the start date of the seed grant.
See www.siu.edu/orda/internal/seed_grants.html for more information about the program, as well as listings of funded projects for past years. Revised FY09 application packets have been posted online.
Community of Science Workshop
Community of Science (COS; www.cos.com) is a comprehensive database of life, natural, and social science funding opportunities and researchers from around the world. SIUC's subscription to COS is a service provided by ORDA.
At a workshop on Wednesday, September 23, from 2:00 to 3:30 p.m. in Woody Hall C-227, you can learn how to register with COS, set up a personal profile, search for funding and collaborative research opportunities, and get signed up for customized funding alerts. To reserve a seat for this workshop, contact ORDA (453-4540, orda@siu.edu).
Additional COS workshops for departments or individuals can be arranged by contacting Joel Fritzler (jcfritz@siu.edu, 453-4530).
Proposal Writing for Graduate Students
Another Proposal Writing for Graduate Students workshop will be held on Thursday, September 24, 10:00-11:30 a.m., in Woody Hall C-227. This workshop introduces graduate students to the process of locating funding opportunities and writing proposals for grants or fellowships to fund their thesis/dissertation projects. To reserve a seat, contact ORDA (453-4540, orda@siu.edu).
REACH Workshop
REACH, the undergraduate research program at SIUC, will host two (identical) workshops on Preparing a Successful REACH Application, to be held Wednesday, October 14, from 3:00 to 4:30 p.m. and Thursday, October 15 from 10:00 to 11:30 a.m. in Woody C-227.
These workshops will discuss the process of preparing successful proposals and related materials to apply for REACH Awards (Undergraduate Research/Creative Activity Awards). These competitive awards, which include small grants of up to $1,500 plus an undergraduate assistantship, fund student research, scholarly, and creative-arts projects done under the guidance of a faculty mentor.
So that we can prepare sufficient workshop materials, we recommend that interested undergraduates reserve a seat by calling ORDA at 453-4540 or e-mailing reach@siu.edu.
—excerpted from The Chronicle of Philanthropy, Aug. 20, 2009
FasterCures—a project of the Milken Institute that seeks to accelerate the discovery of new treatments for debilitating diseases—has created a new service to help donors interested in medical research figure out the best way to spend their money. The Philanthropy Advisory Service features reports that explain the impact of a disease, describe research supported by both companies and nonprofit groups, and identify the projects that are not getting sufficient money. The site also offers organization reports that profile health charities, detailing their approach to medical research, the projects they support, and fund-raising practices.
Scientific advisory boards and organizational review boards vet the reports before they are published. The idea for the service grew out of donors' frustration at the difficulty of finding information about the effectiveness of health organizations. So far, the service features reports about research on Alzheimer's disease, malaria, multiple sclerosis, and tuberculosis. FasterCures plans to eventually add reports on additional diseases. The reports are available free to people who register on the service's web site.
—excerpted from The New York Times, Aug. 18, 2009
A growing body of evidence suggests that doctors at top medical schools have been attaching their names to scientific papers that were drafted by ghostwriters working for drug companies….Experts in medical ethics condemn this practice as a breach of the public trust. Yet many universities have been slow to recognize the problem or to hold faculty members to account. Those universities may not have much longer before they find themselves in trouble. With a letter last week, Senator Charles Grassley, who helps oversee funding for medical research, signaled that he was running out of patience with the practice of ghostwriting and is starting to put pressure on the National Institutes of Health (NIH). Many doctors depend on federal grants to support their work, and attaching fresh conditions to those grants could be a powerful lever for enforcing new ethical guidelines on the universities.
The full scope of the ghostwriting problem is still unclear, but recent revelations suggest that the practice is widespread. Dozens of medical education companies across the country draft scientific papers at the behest of drug makers. And placing such papers in medical journals has become a fundamental marketing practice for most of the large pharmaceutical companies.
Allegations of industry-sponsored ghostwriting date back at least a decade. But evidence of the breadth of the practice has come to light only gradually, most recently in documents released in litigation over menopause drugs made by Wyeth. The documents offer a look at DesignWrite, a medical writing company hired by Wyeth to prepare about 60 articles favorable to its hormone drugs. In one publication plan, DesignWrite wrote that the goal of the Wyeth articles was to de-emphasize the risk of breast cancer associated with hormone drugs, promote the drugs as beneficial, and blunt competing drugs. The articles were published in journals between 1998 and 2005—continuing even though a federal study was suspended in 2002 after researchers found that menopausal women who took certain hormones had an increased risk of breast cancer and heart disease.
Many universities are slow to react to evidence about the practice. Last December, Mr. Grassley released documents indicating that DesignWrite had drafted an article that was published under the name of a professor at NYU's School of Medicine. Eight months later, an NYU spokeswoman said the school had not looked into the matter. "If we had received a complaint, we would have investigated." She added that faculty members are responsible for the integrity of their own work. But some bioethicists say that medical schools must take responsibility for faculty members whose publications do not explicitly acknowledge the work of writers receiving industry support. Such subsidized articles allow pharmaceutical companies to use the imprimatur of respected academics to increase sales of certain drugs, ultimately skewing patient care.…
In one measure of the extent of the problem, the medical school of Columbia is home to three professors who were authors of Wyeth-financed articles. The three are also recipients of NIH grants, according to Mr. Grassley. A new policy at Columbia took effect in January. It prohibits medical school faculty, trainees, and students from being authors or co-authors of articles written by employees of commercial entities if the author's name or Columbia title is used without substantive contribution. The policy requires any article written with a for-profit company to include full disclosure of the role of each author, as well as any other industry contribution.
For more information about these programs, contact Joel Fritzler, ORDA Information Specialist, at 453-4530 or jcfritz@siu.edu.
The National Science Foundation's Social-Computational Systems (SoCS) program seeks to reveal new understanding about the properties that systems of people and computers together possess, and to develop a practical understanding of the purposeful design of systems to facilitate socially intelligent computing. By better characterizing, understanding, and eventually designing for desired behaviors arising from computationally mediated groups of people at all scales, new forms of knowledge creation, new models of computation, new forms of culture, and new types of interaction will result. Further, the investigation of such systems and their emergent behaviors and desired properties will inform the design of future systems.
The SoCS program will support research in socially intelligent computing arising from human-computer partnerships that range in scale from a single person and computer to an Internet-scale array of machines and people. The program seeks to create new knowledge about the capabilities these partnerships can demonstrate—new affordances and new emergent behaviors, as well as unanticipated consequences and fundamental limits. The program also seeks to foster new ideas that support even greater capabilities for socially intelligent computing, such as the design and development of systems reflecting explicit knowledge about people's cognitive and social abilities, new models of collective, social, and participatory computing, and new algorithms that leverage the specific abilities of massive numbers of human participants.
It is estimated that 20 to 35 awards will be made from an anticipated Funding Amount of $15 million. Awards will have annual budgets of up to $250,000 and durations of up to 3 years. For additional information about this program, see www.nsf.gov/pubs/2009/nsf09559/nsf09559.htm or contact Amy Baylor (CISE Point of Contact, 703-292-8930, abaylor@nsf.gov) or Vincent Brown (SBE Point of Contact, 703-292-7305 or vrbrown@nsf.gov).
DEADLINE: Sept. 21
The Directorate for Engineering at the National Science Foundation has established the Office of Emerging Frontiers in Research and Innovation (EFRI) to serve a critical role in focusing on important emerging areas in a timely manner. The EFRI Office is launching a new funding opportunity for interdisciplinary teams of researchers to embark on rapidly advancing frontiers of fundamental engineering research. For this solicitation, it will consider proposals that aim to investigate emerging frontiers in the following two specific research areas: (1) Renewable Energy Storage (RESTOR), and (2) Science in Energy and Environmental Design (SEED): Engineering Sustainable Buildings. This solicitation will be coordinated with the Department of Energy and the Environmental Protection Agency. EFRI seeks proposals with transformative ideas that represent an opportunity for a significant shift in fundamental engineering knowledge with a strong potential for long-term impact on national needs or a grand challenge. The proposals must also meet the detailed requirements delineated in this solicitation.
Information Webcast: The EFRI Office plans to hold an informational workshop on September 17 to answer any questions about the office and this solicitation. Details will be posted on the EFRI website (www.nsf.gov/eng/efri) as they become available.
It is estimated that 14 awards will be made from an anticipated funding amount of $29 million. For additional information about this program, see www.nsf.gov/pubs/2009/nsf09606/nsf09606.htm?govDel=USNSF_25 or contact Sohi Rastegar (703-292-8305 or srastega@nsf.gov) or Johnetta Lee (703-292-8305, jlee@nsf.gov).
DEADLINES: Letters of Intent (required)—Oct. 9; Preliminary Proposals (required)—Nov. 13; Full Proposals—March 31, 2010
Through this Funding Opportunity Announcement (FOA), the Center to Reduce Cancer Health Disparities (CRCHD) and the Division of Cancer Biology (DCB) at the National Cancer Institute (NCI) are inviting cooperative agreement research (U01) grant applications from investigators interested in conducting basic research studies into the causes and mechanisms of cancer health disparities. These awards will support pilot and feasibility studies, development and testing of new methodologies, secondary data analyses, and innovative mechanistic studies that investigate biological/genetic bases of cancer health disparities. This FOA is also designed to aid and facilitate the growth of a nationwide cohort of scientists with a high level of basic research expertise in cancer health disparities research who can develop resources and tools, such as biospecimens, cell lines, and methods that are necessary to conduct basic research in cancer health disparities.
For additional information about this program, see http://grants.nih.gov/grants/guide/pa-files/PAR-09-161.html, or contact Phillip Daschner (301-496-1951, PD93U@nih.gov) or Kenneth Chu (301-435-9213, kc10d@nih.gov).
DEADLINE: Nov. 23
The National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK), the National Institute of Child Health and Human Development (NICHD), and the Office of Behavioral and Social Sciences Research (OBSSR) are encouraging NIH Research Demonstration and Dissemination Project grant (R18) applications from institutions/organizations to test the effectiveness of interventions for the prevention and control of diabetes and obesity that have a high potential to be adopted, and sustained in applied health care settings. The approaches tested must be based on widely accepted interventions previously demonstrated to be efficacious in clinical trials. Research must target the prevention or reversal of obesity, prevention of type 2 diabetes, improved care of type 1 and type 2 diabetes, or the prevention or delay of the complications of these conditions. The interventions proposed under this FOA should have the potential to be widely disseminated to clinical practice, individuals, and communities at risk.
Relevant topics include but are not limited to:
- Strategies to enhance glycemic control and reduce risk factors for the development of the complications of type 1 or type 2 diabetes such as hypertension and dyslipidemia;
- Studies that test innovative approaches to promote the adoption and maintenance of behavior change shown to reduce obesity, prevent diabetes, or improve diabetes outcomes;
- Studies that test approaches that might lead to the long-term maintenance of weight loss and prevention of weight regain after weight loss;
- Studies to prevent excess weight gain at key points across the lifespan, particularly in children, adolescents, and young adults;
- Studies to test innovative approaches for adoption of self-management strategies that improve glycemic control;
- Studies that test family based interventions to treat obesity in children and adolescents in clinical practice or community settings;
- Strategies to overcome health care system barriers that reduce the efficiency or effectiveness of patient/provider interactions and lead to improved health outcomes;
- Studies that test innovative approaches to promote weight loss before and after pregnancy in women with a history of gestational diabetes.
For additional information about this program, see http://grants.nih.gov/grants/guide/pa-files/PAR-09-176.html or contact one of the program officers listed at http://grants.nih.gov/grants/guide/pa-files/PAR-09-176.html#SectionVII.
DEADLINE: Nov. 27
The goal of this program is to stimulate both basic and policy-relevant research about the early education, health, and well-being of children living in immigrant families from birth to age 10, particularly those who are living in low-income families. The program will support young investigators, from the behavioral and social sciences or in an allied professional field, who are untenured but in tenure-track positions or who have received tenure in the last four years from a college or university in the United States.
Research areas of interest are limited to the following: (1) factors (e.g., individual, familial, cultural, neighborhood) contributing to both positive and negative outcomes for young immigrant children in their communities and schools, (2) individual and group identity formation among young children from a variety of groups living in different environments, (3) the experiences of newcomer children in early education, kindergarten, and elementary school programs, (4) language development among immigrant children, and (5) evaluation of the impact of public policies in health and in education that affect the life prospects of newcomer children.
Applicants must hold a Ph.D. or its equivalent in one of the behavioral and social sciences or in an allied professional field (e.g., public policy, public health, education, social work, nursing, medicine). Eligible researchers will have earned their doctoral degrees within the last 15 years prior to June 30, 2009, and be full-time faculty members of a college or university in the United States.
For additional information about this program, see www.fcd-us.org/programs/programs_show.htm?doc_id=447982 or contact the foundation (212-213-8337, ysp@fcd-us.org).
DEADLINE: Nov. 4
The East-West Center is accepting applications from scholars and analysts who wish to undertake policy-relevant research and writing in one of the following areas: international relations of Southeast Asia, political change in Southeast Asia, or ASEAN integration and community-building efforts. For additional information about this program, see www.eastwestcenter.org/scholarships-fellowships/southeast-asia-fellowship-program-washington/ or contact the foundation (202-293-3995, washington@eastwestcenter.org).
DEADLINE: Oct. 15
The Organic Farming Research Foundation (OFRF) funds research on organic farming and food systems and the dissemination of these research results to the greater agricultural community. Proposals must involve farmers or ranchers in project design and implementation and take place on working organic farms or ranches whenever possible. Additionally, proposals should articulate how the proposed research project will foster the improvement or adoption of organic farming systems.
This request for proposals is open to any agricultural production, social, economic, or policy-related topic of concern to organic farmers and ranchers. OFRF also has special funding available for organic fruit research. OFRF supports research that is relevant to and takes place in certified organic systems. OFRF does not normally fund studies that compare conventional with organic systems as a primary objective.
Additionally, OFRF has identified the following as areas of particular interest: (1) organic livestock systems, (2) economic constraints and opportunities relevant to the viability of small- and medium-scale organic farms and ranches, and (3) projects that investigate the interactions between components of organic systems and that take a systems-management (rather than an input-substitution) approach to solving production problems.
OFRF funds only projects in Canada, the United States, and Mexico. It particularly encourages farmers, ranchers, researchers, and extension personnel to consider applying for funding.
For additional information about this program, see http://ofrf.org/grants/apply_research.html or contact Jane Sooby (831-426-6606, jane@ofrf.org).
DEADLINE: Nov. 16
These awards are available to individuals or organizations pursuing projects to promote, research, educate, or preserve Italian American culture, history, or heritage. Examples include documentaries, doctoral research, exhibits, conferences, books, media stereotyping or anti-defamation surveys and campaigns, plays, and course syllabi. For additional information about this program, see www.niaf.org/grants/2008/2008-user/about.asp or contact the foundation (202-387-0600, grants@niaf.org).
DEADLINE: Nov. 27
Note: Grant listings going back to FY2003 are available via this website's Reports and Publications section.
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